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SEC Short Sale Disclosure Rules & Upcoming Compliance Date

On October 13, 2023, the SEC adopted Rule 13f-2 and related Form SHO pursuant to the Securities Exchange Act of 1934 (the “Exchange Act”). Rule 13f-2 seeks to address Congress’ directive under Section 929X of the Dodd-Frank...more

Final Private Fund Adviser Rules

On August 23, 2023, the Securities and Exchange Commission (the “SEC”) approved by a 3-2 vote a final rule enacting a series of wide-sweeping changes to the regulation of the private funds industry (the “Final Rule”). While...more

SEC Proposes New ESG Disclosure Requirements Affecting Investment Advisers

On May 25, 2022, the U.S. Securities and Exchange Commission (the “SEC”) issued a release containing a proposed rule (the “ESG Proposed Rule”) which, if enacted, would require certain exempt and registered investment...more

SEC Division of Examinations Issues 2022 Examination Priorities

On March 30, 2022, the U.S. Securities and Exchange Commission (“SEC”) Division of Examinations (the “Division”) (formerly the Office of Compliance Inspections and Examinations) published its annual examination priorities for...more

SEC Proposal - Private Fund Adviser Rules

On February 9, 2022, more than a decade after the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 increased the Securities and Exchange Commission’s (the “SEC”) oversight of advisers to private funds (pooled...more

SEC Proposes Rules Imposing Additional Reporting and Recordkeeping Requirements for Investment Advisers

On May 20, 2015, the SEC announced proposals to modify and increase the amount of information that it collects from investment companies (“ICs”) and investment advisers (“IAs”) and to create new rules that impose additional...more

Reminder: Deadline for Obtaining CFTC Interim Compliance Identifier for Parties Trading in Swaps

On March 15, 2013, the Commodity Futures Trading Commission’s Division of Market Oversight and Office of Data and Technology issued an advisory, reminding all swap market participants of the imminent deadline to comply with...more

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